FINRA

RESPONDENT WOODHOUSE FAILED TO RESPOND TO FINRA REQUEST FOR INFORMATION.

LETTER

Bar (Permanent)

All Capacities

Indefinite

5/11/2015

PURSUANT TO FINRA RULE 9552(H) AND IN ACCORDANCE WITH FINRA'S NOTICE OF SUSPENSION AND SUSPENSION FROM ASSOCIATION LETTERS DATED FEBRUARY 6, 2015 AND MARCH 2, 2015, RESPECTIVELY, ON MAY 11, 2015, WOODHOUSE IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY. RESPONDENT FAILED TO REQUEST TERMINATION OF HER SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION; THEREFORE, SHE IS AUTOMATICALLY BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY.

CALIFORNIA DEPARTMENT OF INSURANCE

THE REPRESENTATIVE WAS SUSPENDED FOR 3 MONTHS AND FINED $10,000 BY FINRA. AS PROVIDED BY SECTIONS 1669(D)AND 1738 OF THE CALIFORNIA INSURANCE CODE, THE COMMISSIONER MAY REVOKE WITHOUT HEARING THE LICENSE OF A PERSON WHO HAS HAD A PREVIOUSLY ISSUED PROFESSIONAL LICENSE SUSPENDED OR REVOKED FOR CAUSE BY ANY LICENSING AUTHORITY WITHIN FIVE YEARS.

Order

Suspension

TRANSACTION OF INSURANCE BUSINESS, ALL LINES.

10 AND 1/2 MONTHS

4/30/2013

3/14/2014

VARIABLE CONTRACTS AUTHORITY SUSPENDED.

ON MARCH 20, 2014 THE CALIFORNIA DEPARTMENT OF INSURANCE ISSUED AN "ORDER WITHDRAWING PREVIOUS ORDER OF SUMMARY REVOCATION" AND ISSUED AN "ORDER OF SUMMARY SUSPENSION." MY LICENSE WAS REINSTATED ON MARCH 15, 2014.

FINRA

NASD RULES 2110, 3040: WOODHOUSE PARTICIPATED IN PRIVATE SECURITIES TRANSACTIONS (TOTALING $551,652) AWAY FROM HER MEMBER FIRM. THESE INVESTMENTS WERE NOT MADE THROUGH, OR KNOWN TO, HER FIRM. WOODHOUSE DID NOT PROVIDE WRITTEN NOTICE TO HER FIRM BEFORE FACILITATING THESE INVESTMENTS.

Acceptance, Waiver & Consent(AWC)

Civil and Administrative Penalty(ies)/Fine(s)

$10,000.00

Suspension

ANY CAPACITY

THREE MONTHS

2/19/2013

5/18/2013

WITHOUT ADMITTING OR DENYING THE FINDINGS, WOODHOUSE CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE SHE IS FINED $10,000 AND SUSPENDED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY FOR THREE MONTHS. THE SUSPENSION IS IN EFFECT FEBRUARY 19, 2013 THROUGH MAY 18, 2013. FINE PAID IN FULL 3/11/13.

WITHOUT ADMITTING OR DENYING THE FINDINGS, THE REPRESENTATIVE CONSENTED TO A $10,000 FINE AND 3 MONTH SUSPENSION EFFECTIVE FEBRUARY 18, 2013 THROUGH MAY 18, 2013.